Douglas H. Urisko
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Douglas Henry John Urisko, who also goes by Douglas Urisko, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1984. Douglas had worked at 7 firms and has passed the Series 63, Series 25, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 2002 - February 10, 2003
HLA SECURITIES INC
October 1, 2000 - November 27, 2002
TOMEX INC.
January 19, 1999 - July 29, 2002
HAPOALIM SECURITIES USA, INC.
August 31, 1998 - November 21, 2002
TRIAD SECURITIES CORP
November 9, 1995 - March 17, 1998
RODMAN & RENSHAW INC.
October 3, 1994 - April 28, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
May 4, 1987 - November 6, 1990
GLICKENHAUS & CO.
December 18, 1984 - November 6, 1990
GLICKENHAUS & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 25
Date: 12/11/2001
NYSE Trading Assistant ExaminationSeries 8
Date: 7/24/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HLA SECURITIES INC
CRD#: 32713 / SEC#: , 8-35438
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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